Financial Crime Compliance - Broker-Dealer About EY Global Delivery Services (GDS) and Job PurposeGlobal Delivery Services (GDS) consists of various service delivery centers from which our Client Service and Enablement Services teams operate to deliver strategic support to our EY member firms. GDS is one of EYs greatest global assets with 27,000 smart, dedicated and incredibly responsive people in five countries around the world. It plays an important role in EY’s growth strategy by providing efficient and effective support to our service lines and enablement functions.GDS spans all geographies, practices, services lines, sectors, and competencies within EY to deliver deeply integrated services that result in efficient and world-class solutions.The Compliance (Financial Crime Consulting) Team at GDS partners with other EY offices across the globe to provide an array of compliance solutions to our clients. The team works on short to long term engagements to provide assistance in establishing, maintaining, and reviewing the outputs of business functions and compliance programs.Our Financial Crime Consulting team consists of hundreds of professionals who advise and drive change for the firm’s banking, capital markets, insurance, digital payments, crypto exchange, non-banking financial institutions and asset management clients on Financial Crime.Work Experience3-12 years of relevant experience in the wealth and asset management sector, specifically with broker-dealers or registered investment advisors.Registration Link - https://careers.ey.com/job-invite/1585351/Our Financial Crime Consulting team requires specialization in following competencies:Knowledge of FINRA, SEC, and other relevant US rules and regulations.Processes related to US Broker-Dealers or Registered Investment Advisors.E-mail surveillance and annuities supervisionMonitoring of outside business affiliations, registrations, and review of marketing materials.Reporting and DocumentationRegulatory complianceWealth and asset managementRisk AssessmentKEY ROLES & RESPONSIBILTIES:You will be playing a critical role in supporting our clients in ensuring compliance with laws and regulations aimed at preventing money laundering and terrorist financing.Ensures that every case is investigated with a very high focus on quality.Responsible for quality check, assisting the manager and ensuring smooth delivery of work.Educational QualificationStrong academic background, including a master’s degree in finance, Economics, Accounting, Commerce, or a related fieldKnowledge/Skills & AttributesKnowledge of FINRA, SEC, and other relevant US rules and regulations.Understand principles and processes related to the governance and oversight of operations for US Broker-Dealers or Registered Investment Advisors.Assist clients in operations related to supervisory functions, including but not limited to e-mail surveillance, annuities supervision, monitoring of outside business affiliations, registrations, and review of marketing materials.Aid in the training and development of team members on regulatory requirements, product knowledge, and advisory best practices.Engage with internal and external stakeholders to ensure a cohesive approach to wealth management solutions.In-depth knowledge in AML compliance performing Sanctions screening, payment screening, correspondent banking and regulatory reporting.High level of attention to detail and accuracy in reviewing data and completing tasks.Good communication skills, including responsiveness and commitment to quality are one of your strong sides.Must be a strong team player who has a good understanding of prioritizing tasks in a fast-paced environment.Will be able to work to tight deadlines and manage own workflow/priorities accordingly.Proactive, with a focus on continuous learning and staying up to date with the latest compliance and sanctions-related developments.PC Proficiency, including MS Office applications. Certification RequirementsProfessional certification (CAMS, CFE, ICA, CCI or equivalent) will be a good addition.

SAM- Consultant We are seeking a highly skilled and experienced Senior Licensing Consultant to join our dynamic team. The ideal candidate will have a deep understanding of SAP software licensing, compliance, and optimization. As a consultant, you will be responsible for advising our clients on the best practices for managing their SAP licenses effectively and efficiently.Registration Link - https://careers.ey.com/job-invite/1583872/Key Accountabilities/Responsibilities for the Role Candidate should possess strong licensing knowledge of Software publishers like SAP, should have experience working on with SAP from a licensing standpointReviewing existing SAP license contracts and usage data to assess compliance with licensing terms.Analyzing user access patterns to determine appropriate license typesShould be well-aware about SAP tool like USMM, HANA, LAW etc. and their integration with SAM tools like Flexera, ServiceNow etc.Should have experience in Creating Effective License Position (ELPs) report, compliance status, and cost analysis.Should be up to date with latest SAP licensing trends and terminology.Conduct SAP license audits and reviews to identify any potential compliance issues and recommend solutions.Advise clients on SAP license optimization strategies to maximize value and minimize costs.Provide training and guidance to junior consultants and client personnel on SAP licensing matters.Collaborate with cross-functional teams to integrate SAP licensing considerations into broader IT and procurement strategies.Prepare detailed reports and presentations for clients outlining findings, recommendations, and the business impact of licensing decisions.Participate in business development activities, including proposal writing and client presentationsSkills Required: Bachelors/Masters Degree in Information Technology, Business or any related feild5 to 8 years professional experience in licensing industry with successful ITAM/SAM Management/ software licensing experience across publishers is a must.Familiarity of different publisher licensing models.Strong understanding of SAP licensing models, including named user licenses, concurrent user licenses, and indirect access licensing.SAM Accreditation (good to have).Proficiency in Excel and Data analysis is a must.Previous exposure to asset management software; preferably with specific experience in ServiceNow and SAMCore Capabilities: Robust Methodical skills Solid Analytical and problem solving skills Strong presentation & communication skills Quality oriented personality Functional Capabilities: Highly motivated and result oriented.Solid organizational abilities, adept at multitasking, and skilled in time management.

EY- Consulting - Senior, Enterprise Risk ManagementAs part of our Consulting Enterprise Risk team you will lead client engagements related to Enterprise Risk Management and Internal Audit.The opportunityWere looking for Senior Consultant with expertise in ERM and/or Internal Audit to join the our EY-Consulting Risk Team. This is a fantastic opportunity to be part of a leading firm whilst being instrumental in the growth of a new service offering.Your key responsibilitiesClient ManagementUnderstand the clients business & related industry issues / trends.Develop strong working relationships with the client and onshore client teamsMaintain excellent rapport and proactive communication with the clientMarket LeadershipSupport the practice in building the ERM solution operating model and enablers.Participate / support business development initiatives.Support multiple innovation initiatives to enhance existing solutions leveraging emerging technologies like Robotics, AI, Advanced AnalyticsSupport the practice in developing thought leadership content and other innovation initiatives from time to time. Quality deliveryIndependently execute assignments, where requiredManage multiple assignments and related project teams.Meet quality guidelines within the established turnaround time (or allotted budget) for assigned requests.Constantly monitor project progress, manage risk and verify key stakeholders are kept informed about progress and expected outcomes.Demonstrate application and solution-based approach to problem solving while executing client engagements and documenting working papers.Anticipate and identify engagement related risks and escalate issues as appropriate on a timely basis.Identify process gaps and accordingly provide recommendation in areas requiring improvement based on the client's business process and industry practice.Mentor and coach junior team members, enabling them to meet their performance goals and successfully grow their careers. OperationalEnsure compliance with risk management strategies, plans and activities of the firm.Manage the engagement budgets and support superiors in developing marketing collaterals, business proposals and new solution / methodology development.Supporting the engagement manager in planning and scheduling optimum staff levels for engagements. Skills and attributes for successExceptional command on spoken and written EnglishHighly analytical, organised and meticulous consulting skillsStrong academic history (degree in Business, Accounting, or similar work experience in similar industry, Big 4 preferred)Experience in implemention / running the ERM programProficient in MS-Office Suite, data analysis & validationTeam player with strong interpersonal skillsAbility to prioritize deliverables effectively in order to achieve optimum results.To qualify for the role, you must haveCA OR MBA (Masters in business administration)4-8 years of work experience in ERM, Risk Assessment and management projects and IA projectsTechnical experience in Finance, Operations or Regulatory ComplianceIdeally, you’ll also haveStrong project management skillsProblem solving skillsAbility to think differently and innovateHands on experience on popular GRC platforms for managing ERM programs

EY- Consulting -Manager, Enterprise Risk Management As part of our Consulting Enterprise Risk team you will lead client engagements related to Enterprise Risk Management and Internal Audit.The opportunityWere looking for Senior Consultant with expertise in ERM and/or Internal Audit to join the our EY-Consulting Risk Team. This is a fantastic opportunity to be part of a leading firm whilst being instrumental in the growth of a new service offering.Your key responsibilitiesClient ManagementUnderstand the clients business & related industry issues / trends.Develop strong working relationships with the client and onshore client teamsMaintain excellent rapport and proactive communication with the clientMarket LeadershipSupport the practice in building the ERM solution operating model and enablers.Participate / support business development initiatives.Support multiple innovation initiatives to enhance existing solutions leveraging emerging technologies like Robotics, AI, Advanced AnalyticsSupport the practice in developing thought leadership content and other innovation initiatives from time to time. Quality deliveryIndependently execute assignments, where requiredManage multiple assignments and related project teams.Meet quality guidelines within the established turnaround time (or allotted budget) for assigned requests.Constantly monitor project progress, manage risk and verify key stakeholders are kept informed about progress and expected outcomes.Demonstrate application and solution-based approach to problem solving while executing client engagements and documenting working papers.Anticipate and identify engagement related risks and escalate issues as appropriate on a timely basis.Identify process gaps and accordingly provide recommendation in areas requiring improvement based on the client's business process and industry practice.Mentor and coach junior team members, enabling them to meet their performance goals and successfully grow their careers. OperationalEnsure compliance with risk management strategies, plans and activities of the firm.Manage the engagement budgets and support superiors in developing marketing collaterals, business proposals and new solution / methodology development.Supporting the engagement manager in planning and scheduling optimum staff levels for engagements. Skills and attributes for successExceptional command on spoken and written EnglishHighly analytical, organised and meticulous consulting skillsStrong academic history (degree in Business, Accounting, or similar work experience in similar industry, Big 4 preferred)Experience in implemention / running the ERM programProficient in MS-Office Suite, data analysis & validationTeam player with strong interpersonal skillsAbility to prioritize deliverables effectively in order to achieve optimum results.To qualify for the role, you must haveCA OR MBA (Master’s in business administration)8-12 years of work experience in ERM, Risk Assessment and management projects and IA projectsTechnical experience in Finance, Operations or Regulatory ComplianceIdeally, you’ll also haveStrong project management skillsProblem solving skillsAbility to think differently and innovateHands on experience on popular GRC platforms for managing ERM programsWhat working at EY offersAt EY, we’re dedicated to helping our clients, from start–ups to Fortune 500 companies — and the work we do with them is as varied as they are.You get to work with inspiring and meaningful projects. Our focus is education and coaching alongside practical experience to ensure your personal development. We value our employees and you will be able to control your own development with an individual progression plan. You will quickly grow into a responsible role with challenging and stimulating assignments. Moreover, you will be part of an interdisciplinary environment that emphasizes high quality and knowledge exchange. Plus, we offer:Support, coaching and feedback from some of the most engaging colleagues aroundOpportunities to develop new skills and progress your careerThe freedom and flexibility to handle your role in a way that’s right for you

About EYEY is a global leader in assurance, tax, transaction, and advisory services. The insights and quality services we deliver help build trust and confidence in the capital markets and in economies the world over. We develop outstanding leaders who team to deliver on our promises to all our stakeholders. In so doing, we play a critical role in building a better working world for our people, for our clients and for our communities.EY refers to the global organization, and may refer to one or more, of the member firms of Ernst & Young Global Limited, each of which is a separate legal entity. Ernst & Young Global Limited, a UK company limited by guarantee, does not provide services to clients. For more information about our organization, please visit ey.com.About EY Global Delivery Services (GDS) AssuranceEY Global Delivery Services (GDS) Assurance practice supports global EY clientserving teams with their reviews across industry sectors, including financial services, manufacturing, and technology, among others. Through the right multidisciplinary team of professionals with the sector knowledge and subject matter expertise, EY GDS Assurance enables EY client teams to help worlds leading companies meet their audit requirements.EYs global Climate Change and Sustainability Services (CCaSS) enable companies to survive and grow in an environment where both financial and non-financial performance is critical. Our multidisciplinary teams help companies understand the risks and opportunities arising from climate change and sustainability and our solutions are spread across this spectrum. Our solutions include Climate Change & Decarbonization, Sustainability Advisory, Non-Financial Reporting, Non-Financial Assurance, EHS and Managed Services.Registration Link - https://careers.ey.com/job-invite/1583086/ Position summaryClimate Change and Sustainability Services (CCaSS) professionals provide assurance and advisory services including ESG/Sustainability Advisory, Sustainability/non-financial reporting, EHS, Climate Change and impact assessment studies. Our CCaSS team is growing exponentially, and as a Manager, you'll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution. You will work with clients to comprehend and navigate reporting standards (e.g., GRI, CSRD, SASB, Integrated Reporting, TCFD), develop processes, controls and technology-based solutions to support reporting and develop strategies addressing sustainability risks. You will also lead teams providing independent assurance over sustainability disclosures, based on frameworks like ISAE 3000 (Revised) and AA 1000.The individual will be required to travel to other countries (short term) for executing the client engagements.Primary responsibilitiesYou will lead and plan the execution of projects and collaborate with colleagues across multiple service lines. You will support sustainability related advisory or assurance projects associated with systems implementations, and business process transformation. You will share relevant subject matter expertise to support the development of thought leadership on sustainability processes and controls and to create customized solutions for our clients.You will lead and execute the following key CCaSS solutions using global service delivery framework:ESG/ sustainability reportingSustainability assuranceSustainability strategyESG impact assessmentsESG due diligenceSupply chain sustainability As a manager you will demonstrate management skills, including but not limited to the following:Creating a positive work environment within team.Monitoring workloads of the team while meeting client expectations.Providing candid, meaningful, and constructive feedback in a timely manner.Qualifications, skills, and experienceGraduate or post-graduate degree in business administration, engineering, and other related discipline from reputed institutes.8+ years of experience (graduates) and 5+ years of experience (post-graduates) preferably from consulting background, research thinktanks and/ or environment, and sustainability related areas.Experience in ESG reporting, strategy development, assurance, impact assessments, due diligence, supply chain sustainability, conducting trainings, etc.Excellent and demonstrable team & engagement management, problem solving and analytical skills.Strong verbal and written communication skills, including an ability to synthesize complex ideas into clear messages with stakeholders.Excellent MS Excel and MS PowerPoint skills.Flexibility and willingness to travel on short notice, as necessary.

Job description - SeniorFinancial Crime Operations SeniorThe Compliance team at EY GDS partners with other EY offices across the globe to provide an array of compliance solutions to our clients. The team works on short to long term engagements to assist in establishing, maintaining, and reviewing the outputs of business functions and compliance programs.Financial crime risks relating to anti-money laundering (AML), terrorist financing, anti-bribery controls, sanctions compliance and fraud are a high focus for regulated businesses and external scrutiny as regulation and practice continues to evolve. Responsible for developing and overseeing the financial crime and fraud prevention framework, designed to ensure client(s) are compliant, protected from risk and loss from financial crimeRegistration Link - https://careers.ey.com/job-invite/1543290/ The OpportunityAs a part of our Global Managed Services Delivery team, you will be working with EY offices across the globe to provide an array of compliance solutions to our clients. The team works on short to long term engagements aiding in establishing, maintaining and reviewing the outputs of business functions and compliance programs.Our Financial Crime Consulting team consists of hundreds of professionals who advise and drive change for the firms banking, capital markets, insurance, and asset management clients in Financial Crime. Our Financial Crime Consulting team specializes in several areas, including:Transactions monitoring, preferably in Wealth & Asset Management sector, also into Customer screeningPayment screening filtering for Sanctions, PEPs and adverse mediaKYC RemediationAnti-money laundering transaction monitoringLook-back reviews and loan file reviewsCompliance testing and FATCAFinancial crime risk assessment reviewsKey ResponsibilitiesAs a Senior in the Financial Crime Compliance team, you will predominantly support the compliance team in the financial crime space. You will help businesses comply with financial crime regulations and adhere to relevant client(s) policies and procedures related to antimoney laundering and counter-terrorist financing.Multi-task, learn on the job and work under pressure to meet strict deadlines in a fast-paced environmentDay to day coordination of project and related activities driven by the compliance functionGuide and oversee junior compliance specialists utilized in compliance activitiesPreparing MIS for senior management and providing advisory support to business unitsBuild professional relationship within the firm as well as with the clients and must participate in business development activitiesSeek to understand the overall process and objective of the projectDemonstrate integrity, respect and be able to work independently or collaboratively with teams as may be requiredDevising process documentation and translating complex processes into easy-to-follow instructionsCoordinating efforts with internal stakeholders as appropriateDemonstrate an application & solution-based approach to problem solving • Take ownership and initiatives to help improve the status quoSkills and Attributes for SuccessExperience in the design, development, and implementation of internal controls for financial services business processesAnticipate and identify engagement related risks and escalate issues as appropriateExhibit analytical skills and attention to detail while maintaining a holistic view and logical thinkingActively establish client (process owner/functional heads) and internal relationships • Prior consulting experience is preferredTo qualify for the role4-8 years of experience in Transactions Monitoring, Financial Crime Risk Management supporting banking and financial services industry in managing their BSA/CTF regulatory compliance operationsStrong academic background with an MBA/Masters degreeStrong presentation skills and proficiency in the use of PowerPoint, Word and ExcelHave effective project management and teamwork skills, and the ability to work under pressureWilling to work in shifts, if requiredNeed to work from officeWilling to work on Indian Holidays as per requirementManage multiple competing priorities and consistently deliver results within strict deadlinesSubject matter knowledge to address the process concerns, floor queries and coach & mentor AML analysts.Willing to travel, within the country and internationally as requiredIdeally, you’ll also haveGood communication skillsStrong interpersonal and teaming skillsWhat working at EY offersContinuous learning: You’ll develop the mindset and skills to navigate whatever comes next.Success as defined by you: We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.Transformative leadership: We’ll give you the insights, coaching and confidence to be the leader the world needs.Diverse and inclusive culture: You’ll be embraced for who you are and empowered to use your voice to help others find theirs.